SL
Shih Hua Liu
ARETE WEALTH ADVISORS
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 6115449
SL
Professional summary
Shih Hua Liu, who also goes by Bill Sh Liu, Shih Hua Liu, is a registered financial advisor currently at ARETE WEALTH ADVISORS, LLC located in San Francisco, California and ARETE WEALTH MANAGEMENT, LLC located in San Rafael, California.
Shih Hua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Shih Hua has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Sh Liu | Shih Hua Liu
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Various Insurance Providers POSITION: Agent. NATURE: Appointed with various insurance companies offering life insurance, health, dental & vision insurance, and medicare/medicaid insurance. INVESTMENT RELATED: No. NUMBER OF HOURS: 32/month. SECURITIES TRADING HOURS: 0. START DATE: 07/01/2020 through 10/19/2023. ADDRESS: 7988 PUMPKIN DRIVE, CUPERTINO CA 95014, United States. DESCRIPTION: Serve as an agent soliciting and servicing customers who need various insurance products. DBA-SWM FINANCIAL POSITION: President NATURE: This OBA is for my DBA, SWM Financial. INVESTMENT RELATED: Yes. NUMBER OF HOURS/MONTH: 160. SECURITIES TRADING HOURS: 160. START DATE: 08/27/2013. ADDRESS: 7988 PUMPKIN DRIVE, CUPERTINO CA 95014, United States. DESCRIPTION: The purpose of this OBA is to disclose my DBA, SWM Financial. Portsmouth Financial Services dba
CRS (Client Relationship Summary) - RIA
Click below to view Shih Hua Liu's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 10, 2024 - Present
ARETE WEALTH ADVISORS, LLC
Office #1: 601 Montgomery St Suite 2010, San Francisco, CA 94111RIA
CRD#: 145488
San Francisco, CA
Current
December 10, 2024 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 100 Smith Ranch Road Suite 110, San Rafael, CA 94903BD
CRD#: 44856
San Rafael, CA
Past
August 3, 2021 - December 31, 2024
PORTSMOUTH FINANCIAL SERVICES
BD
CRD#: 13980
SAN FRANCISCO, CA
Past
August 2, 2021 - April 2, 2025
FISCAL WISDOM WEALTH MANAGEMENT LLC
RIA
CRD#: 168299
Cupertino, CA
Past
September 9, 2015 - August 4, 2021
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
CUPERTINO, CA
Past
September 8, 2015 - August 4, 2021
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
CUPERTINO, CA
Past
April 29, 2013 - September 16, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
FREMONT, CA
Past
March 11, 2013 - September 16, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
FREMONT, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AW
ARETE WEALTH ADVISORS, LLC
25 FINANCIAL | WESTERN PORTFOLIO PARTNERS | WEALTH STRATEGIES ADVISORY GROUP | WEALTH SOLUTIONS 360 | THORNHILL FINANCIAL | SILVERCAP WEALTH MANAGEMENT | SHADES CREEK WEALTH ADVISORS | SECOND LEVEL CAPITAL | SARANAC ADVISORS | ROBERTS TAX AND RETIREMENT PLANNING | PROGEN FINANCIAL CONSULTING | PINNACLE FINANCIAL WEALTH MANAGEMENT | PFS WEALTH MANAGEMENT | PATHWAY FINANCIAL MANAGEMENT | OLD GROWTH CAPITAL | NTS BEARING | NARISH FINANCIAL SERVICES | MCKINLEY WEALTH MANAGEMENT LLC | MASTERWORKS.IO | MAJORS FINANCIAL | MAGNOLIA CAPITAL MANAGEMENT | LEGACY FINANCIAL | LEBLANC FINANCIAL ALLIANCE | KRM FINANCIAL SERVICES | JOHN GALT WEALTH SOLUTIONS | INSIGHT WEALTH GROUP | IJK FUNDS | HUDSONPOINT CAPITAL | HILL & HILL FINANCIAL | GOVIC CAPITAL | GOLUB CAPITAL | FREEDOM FINANCIAL WEALTH AND TAX, LLC | FINCADIA CAPITAL PARTNERS | FINANCIAL RESOURCE MANAGEMENT | DUPRE CARRIER GODCHAUX FINANCIAL SERVICES | CYGNUS CAPITAL | CURA WEALTH PARTNERS | CREATIVE HEALTH CAPITAL, LLC | COOPER TOWER WEALTH | CONNER FINANCIAL LLC | CALIBER FINANCIAL PARTNERS | AXXCESS WEALTH MANAGEMENT, LLC | AXXCESS WEALTH MANAGEMENT LLC | ARNO WEALTH MANAGEMENT, LLC | ARETE WEALTH ADVISORS, LLC | ALVERY BARTLETT GROUP | ALTERNATIVE INVESTMENT SPECIALISTS LLC
CRD#: 145488 / SEC#: 801-69827
RIA
Registered Investment Advisory firm - (1/5/2009 Approved)District of Columbia
Registered Investment Advisory firm - (1/12/2009 Terminated)Illinois
Registered Investment Advisory firm - (1/8/2008 Terminated)Maryland
Registered Investment Advisory firm - (2/10/2009 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2009 Terminated)Virginia
Registered Investment Advisory firm - (1/12/2009 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(12/10/2024)
IAR
California(12/10/2024)
RR
Nevada(1/2/2025)
RR
Washington(1/2/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AW
ARETE WEALTH ADVISORS, LLC
25 FINANCIAL | WESTERN PORTFOLIO PARTNERS | WEALTH STRATEGIES ADVISORY GROUP | WEALTH SOLUTIONS 360 | THORNHILL FINANCIAL | SILVERCAP WEALTH MANAGEMENT | SHADES CREEK WEALTH ADVISORS | SECOND LEVEL CAPITAL | SARANAC ADVISORS | ROBERTS TAX AND RETIREMENT PLANNING | PROGEN FINANCIAL CONSULTING | PINNACLE FINANCIAL WEALTH MANAGEMENT | PFS WEALTH MANAGEMENT | PATHWAY FINANCIAL MANAGEMENT | OLD GROWTH CAPITAL | NTS BEARING | NARISH FINANCIAL SERVICES | MCKINLEY WEALTH MANAGEMENT LLC | MASTERWORKS.IO | MAJORS FINANCIAL | MAGNOLIA CAPITAL MANAGEMENT | LEGACY FINANCIAL | LEBLANC FINANCIAL ALLIANCE | KRM FINANCIAL SERVICES | JOHN GALT WEALTH SOLUTIONS | INSIGHT WEALTH GROUP | IJK FUNDS | HUDSONPOINT CAPITAL | HILL & HILL FINANCIAL | GOVIC CAPITAL | GOLUB CAPITAL | FREEDOM FINANCIAL WEALTH AND TAX, LLC | FINCADIA CAPITAL PARTNERS | FINANCIAL RESOURCE MANAGEMENT | DUPRE CARRIER GODCHAUX FINANCIAL SERVICES | CYGNUS CAPITAL | CURA WEALTH PARTNERS | CREATIVE HEALTH CAPITAL, LLC | COOPER TOWER WEALTH | CONNER FINANCIAL LLC | CALIBER FINANCIAL PARTNERS | AXXCESS WEALTH MANAGEMENT, LLC | AXXCESS WEALTH MANAGEMENT LLC | ARNO WEALTH MANAGEMENT, LLC | ARETE WEALTH ADVISORS, LLC | ALVERY BARTLETT GROUP | ALTERNATIVE INVESTMENT SPECIALISTS LLC
CRD#: 145488 / SEC#: 801-69827
RIA
Registered Investment Advisory firm - (1/5/2009 Approved)District of Columbia
Registered Investment Advisory firm - (1/12/2009 Terminated)Illinois
Registered Investment Advisory firm - (1/8/2008 Terminated)Maryland
Registered Investment Advisory firm - (2/10/2009 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2009 Terminated)Virginia
Registered Investment Advisory firm - (1/12/2009 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1115 W Fulton Market 3rd Floor, Chicago, IL 60607
Mailing Address
Phone number
(312) 940-3684
Established
Firm type
Fiscal year end
# of Employees
138
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,837 |
| AUM (Assets Under Management) | $ 3,152,167,506 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
